Citi
Vice President (VP), Engagements and Issue Quality Control Lead
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Vice President (VP), Engagements and Issue Quality Control Lead
The Vice President (VP), Engagements and Issue Quality Control Lead will be responsible for supporting the business in coordinating non-regulatory audits/reviews (engagements) from planning to reporting, including the maintenance of technological solution for reporting of engagements status to senior management to provide data driven insights. Additional responsibilities include the coordination and comprehensive management of issues and non-regulatory engagements with key stakeholders, such that Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well as self-identified issues. This includes coordinating with key stakeholders to investigate controls gaps or failures, develop corrective action plans, and provide robust challenge enabling the key stakeholders to implement sustainable solutions by addressing root causes and adopting enhanced discipline.
Key Responsibilities
Non-Regulatory Engagement Reporting & Analysis
- Create and continuously maintain a comprehensive, centralized view of the progress of planned non-regulatory engagements with potential impact to the business processes and teams, including planned coverage of internal control functions.
- Design and deploy reporting capability using technical solutions to ensure effective and timely communication of progress of these engagements including scope, impact on the business teams and prompt escalation of potential concerns.
- Contribute to a robust process for reporting key updates of non-regulatory engagements status, and escalating areas of concerns in timely manner. Valuable input would primarily derive from engagements support activities.
- Utilize analytics tools to assess issue themes and trends together with their associated root causes and risks. Analysis should drive valuable propositions around thematic or targeted remediation.
- Support identification and analysis of potential control gaps and operational risks for the business and the franchise, leveraging data analysis to assess impact.
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Non-Regulatory Engagements
- Establish a network of key stakeholders in control functions to enable effective collaboration and partnership during engagements
- Engage Internal Audit (IA), Operational Risk Management (ORM), Compliance, etc. on Audit/Exam scoping, bringing in SMEs as needed, to manage exercise scope; get business de-scoped where it makes sense.
- Support the business throughout all phases of the review/exam lifecycle by:
- Advising on scope determination, advising business/function on the drafting of responses to optimize for positive outcomes.
- Challenging response drafts for adequacy before submitted back.
- Assist issue owners in issue lifecycle activities should Issues/CAPs be raised from the engagement.
Issue Quality Control (IQC)
- Execute Issue Quality Control activities across the full issue lifecycle in line with Issue Management, Quality Controls, and where required Quality Assurance procedures.
- Assess issue pervasiveness, challenge severity, impact and navigate management in the drafting of risk driven observations.
- Challenge Management’s proposed remediation approach ensuring that it addresses root causes, it is sustainable and adheres to external (regulatory) & internal (policy) requirements.
- Support key stakeholders in the design and development of corrective action plans to address identified control gaps or failures
- Leverage lessons learned from prior IQC reviews to improve the quality of remediation & timely closure of issues
Qualifications
- Minimum of 6-10 years of experience in Internal Audit, Operational Risk Management, Compliance or other control-related functions in the financial services industry.
- Proven experience in implementing sustainable technical solutions for reporting and data insights, and handling large datasets.
- Proficiency in Microsoft Office suite, particularly Excel, Power Query, Power BI, PowerPoint, and Word. Experience in Python and Gen AI for data analysis/scripting.
- Strong problem-solving and decision-making skills.
- Proven experience in control related functions in the financial industry.
- Strong analytical skills to evaluate complex risk and control activities and processes.
- Ability to identify, measure, and manage key risks and controls.
- Strong knowledge in the development and execution for controls.
- Understanding of compliance laws, rules, regulations, and best practices.
- Understanding of Citi’s Policies, Standards, and Procedures.
- Strong verbal and written communication skills, with a demonstrated ability to engage at the senior management level.
- Advanced English Skills required.
- Ability to manage multiple tasks and priorities.
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Job Family Group
- Controls Governance & Oversight
Job Family
- Issue Management
Time Type
Most Relevant Skills
- Analytical Thinking
- Constructive Debate
- Controls Lifecycle
- Escalation Management
- Governance
- Issue Management
- Process Design
- Risk Management Lifecycle
- Root Cause Analysis
- Stakeholder Management
Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
Equal Opportunity Employer
Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.
If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.
View Citi’s EEO Policy Statement and the Know Your Rights poster.
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